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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

KENNETH CHARLES LAFLEUR

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Chandler, AZ

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Search this name across graphsid dfx:ria:d99f7995-5e7c-1c42-18aa-48b9c205fc7e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 24, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 24, 1995
First registration: Nov 8, 2002
Dual registered: yes, broker-dealer
Other names: KEN C LAFLEUR
IAPD individual key: 2661521

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 8, 2019	n/a	yes	Chandler, AZ	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 9, 2018	Nov 29, 2018	no	Chandler, AZ\|Scottsdale, AZ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Nov 12, 2018	no	Scottsdale, AZ\|PEORIA, AZ\|TEMPE, AZ\|PHOENIX, AZ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jun 25, 2008	Jun 1, 2009	no	SCOTTSDALE, AZ	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Jan 19, 2006	Dec 13, 2007	no	PHOENIX, AZ\|CHICAGO, IL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Oct 12, 2005	Dec 31, 2005	no	PHOENIX, AZ	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Mar 23, 2004	Apr 28, 2005	no	SCOTTSDALE, AZ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Nov 8, 2002	Jan 16, 2004	no	PHOENIX, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHARLES SCHWAB & CO., INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Nov 29, 2018	Jan 8, 2019	40	Firm change	Ibd to ibd
MORGAN STANLEY	CHARLES SCHWAB & CO., INC.	Nov 12, 2018	Nov 9, 2018	-3	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
BMO HARRIS FINANCIAL ADVISORS, INC	MORGAN STANLEY & CO. LLC	Dec 13, 2007	Jun 25, 2008	195	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	BMO HARRIS FINANCIAL ADVISORS, INC	Dec 31, 2005	Jan 19, 2006	19	Bulk transfer	Other
BANC ONE SECURITIES CORPORATION	E*TRADE CAPITAL MANAGEMENT, LLC	Apr 28, 2005	Oct 12, 2005	167	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	BANC ONE SECURITIES CORPORATION	Jan 16, 2004	Mar 23, 2004	67	Firm change	Other

Relationships

Registered with (8)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Jan 8, 2019 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Nov 9, 2018 to Nov 29, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Nov 12, 2018factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jun 25, 2008 to Jun 1, 2009factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Jan 19, 2006 to Dec 13, 2007factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 12, 2005 to Dec 31, 2005factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Mar 23, 2004 to Apr 28, 2005factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Nov 8, 2002 to Jan 16, 2004factForm ADV

Dated events

No dated event names this entity yet.